Faculty/Author Profile

Andrew L. Weinberg

Deutsche Bank AG

Managing Director, Global Banking and Markets Compliance

New York, NY, USA

Andrew L. Weinberg is the Head of Regulatory Compliance Policy and Assessment at Deutsche Bank Securities Inc. in New York City. Mr. Weinberg's responsibilities include monitoring and analyzing banking, securities, and investment advisory regulatory developments affecting Deutsche Bank's businesses in the Americas, devising strategies to address the impact of new rules and/or rule changes, and coordinating the Compliance Department's advice on implementation of business, process, and policy changes within the firm to accommodate changes in US laws, rules, and regulations. Mr. Weinberg also manages the Americas Compliance risk assessment program, the Americas Policy and Communications group, the US Branch Review and Desk Team, and the Office of Compliance Ethics and Regulatory Implementation.

Before assuming his position in the Compliance Department, Mr. Weinberg served as a member of Deutsche Bank's Litigation and Regulatory Group and was responsible for handling litigations, regulatory matters, and internal investigations arising out of all of Deutsche Bank's business units. Mr. Weinberg oversaw all of the litigation and regulatory matters for Deutsche Bank's Private Client Services business and also provided advisory support to Deutsche Bank's Private Wealth Management business.

Prior to joining Deutsche Bank, Mr. Weinberg was a member of Credit Suisse First Boston LLC's General and Regulatory Litigation Group for four years. Mr. Weinberg served as CSFB's Director of Retail Litigation, having primary responsibility for handling the litigation and regulatory docket for CSFB's Private Client Services business.

Mr. Weinberg graduated, summa cum laude, from Columbia College in 1991 and was elected to Phi Beta Kappa at the end of his junior year. He graduated, cum laude, from Harvard Law School in 1994 and was admitted to the New York State Bar and Southern and Eastern District Courts of New York in 1995. He is the Chair of SIFMA's Committee on Arbitration and Litigation.